I set up IFA Consultancy in 2004 to provide a compliance consultancy service to Independent Financial Advisers. When regulation then spread to mortgages, and then insurance, I extended my services to cover those sectors. In the last fifteen years, regulation has also had an impact on firms whose main business is not primarily financial services, such as finance brokers, motor traders and consumer credit businesses. I have therefore gained a wide variety of experience across the small business sector as I have helped these clients with their compliance needs. I did this with the overall aim of helping to free up the adviser’s time to concentrate on what they do best, whilst I help manage their compliance. I still operate on these principles today. I am an IFA Compliance specialist; I had 10 years’ experience as an Independent Financial Adviser prior to this role as a compliance consultant. I worked as an IFA at a bank and then in the private sector and was a manager in both environments. I am qualified to Diploma level with additional qualifications in pensions, mortgages and supervision.
I will visit your office, meet you and your adviser staff, and establish how I can help with your FCA compliance. If my proposition appeals to you then I commit to get to know you and your firm, and how you work, through a series of monthly visits. For smaller firms we can tailor the support service to quarterly or even 6-monthly visits if you only require back-up support to an in-house compliance resource.
I will visit your office, meet you and your adviser staff, and establish how I can help with your FCA compliance. If my proposition appeals to you then I commit to get to know you and your firm, and how you work, through a series of monthly visits. For smaller firms we can tailor the support service to quarterly or even 6-monthly visits if you only require back-up support to an in-house compliance resource.
